Personnel Hong Kong SFC License Details (ID 77036)

Personnel Hong Kong SFC License Details (ID 77036)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2025-08-25	-
	Rep	Advising on securities	2022-03-17	-
	Rep	Asset management	2022-03-17	-
	Rep	Dealing in securities	2022-03-17	-
CIFM Asset Management (Hong Kong) Limited	Rep	Advising on securities	2019-02-15	2020-09-27
	Rep	Asset management	2019-02-15	2020-09-27
	Rep	Dealing in securities	2019-02-15	2020-09-27
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Asset management	2018-01-04	2018-11-23
	Rep	Advising on securities	2014-02-21	2018-11-23
	Rep	Dealing in securities	2013-06-24	2018-11-23
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2010-05-28	2013-05-01
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2010-05-28	2013-05-01